Broker-Dealers Articles

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REVIEW: In ‘Young Money,’ Recruits Face Realities Of The Street

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Some six months into their new jobs at a Wall Street bank, two young, overworked and stressed-out financial analysts were having their second beers and discussing the best ways to literally kill...

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SEC Said To Weigh Shining Light On Broker Role In Routing Stocks

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The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed.

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Brokerage Firms Charge Bonus Disclosure Plan Ignores Costs

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The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.

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REVIEW: Flash Boys Offers A Seditious Conclusion

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The book describes the problems with high frequency trading, but does it provide the right answer?

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Morgan Stanley Profits Soar On Big Increase In Advisory Business

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Morgan Stanley reported a 55 percent jump in first-quarter earnings, in large part because of another strong quarter from wealth management.

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SEC Plans Review Of RIAs, Broker-Dealers For Lax Cybersecurity

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The SEC issued cybersecurity guidelines as it prepares to look at over 50 investment advisors and broker-dealers on the issue, which is gaining increasing prominence at the agency.

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LPL Names Morrissey Managing Director Of Independent Advisor Services

by FA Staff

William Morrissey, who had run advisor recruiting at LPL Financial, has been named to replace Derek Bruton, who resigned abruptly 10 days ago.

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Seattle B-D Merging Into Robert W. Baird

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McAdams Wright Ragen Inc., a Seattle-based regional brokerage firm, has agreed to merge with Milwaukee-based Robert W. Baird & Co. Inc.

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White: No Changes In SEC's High-Frequency Trading Stance

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SEC Chairman Mary Jo White said today no new issues have been raised for the commission by a controversial new book about high-frequency trading.

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Fidelity Tops Investor Satisfaction List

by FA Staff

Investor satisfaction with the overall full-service investments industry has risen for the third consecutive year, according to a J.D. Power survey.

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